The complaint alleged that defendants made multiple, material misrepresentations about the company, the nature of the offering, and the use of investor funds.

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The SEC alleged that defendant initially conducted insider trading with the help of an accomplice, and then began trading in his own name after he left Ubiquiti Networks’ employ.

His pattern was to use material nonpublic information to trade ahead of the company’s quarterly earnings announcements, which netted him almost $2 million in illicit gains.

In fact, since 2011, more than 100 well-intentioned whistleblowers have been denied awards.

Our team has conducted a comprehensive study of all prior SEC awards and denials of awards to ensure that our clients don’t assume unnecessary procedural risk.

Detailed responses to the questions below provide us with key information to begin evaluating whether a possible violation of the federal securities laws is likely to have occurred.

Back Recognizing the inherent complexity of the federal securities laws, clients take comfort in the fact that Labaton Sucharow has been prosecuting—and winning—high-profile securities cases for more than half a century.

An even smaller percentage of those investigations will result in successful enforcement actions in which the monetary sanctions exceed

Back Recognizing the inherent complexity of the federal securities laws, clients take comfort in the fact that Labaton Sucharow has been prosecuting—and winning—high-profile securities cases for more than half a century.An even smaller percentage of those investigations will result in successful enforcement actions in which the monetary sanctions exceed $1 million, the threshold required for a whistleblower award.The federal securities laws are vast, complex and rapidly changing.Case still pending against principal of the companies, defendant Garza, at the time of writing of this summary.Defendants, an investment advisory firm and its owner, fraudulently overbilled clients and stole assets from their trusts to pay for personal expenses/luxury items. Case resolved by settlement following conviction of defendant Broidy in a parallel criminal matter.With more than 50 years of private securities enforcement experience and decades of SEC prosecutorial experience, our knowledge is unparalleled.

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Back Recognizing the inherent complexity of the federal securities laws, clients take comfort in the fact that Labaton Sucharow has been prosecuting—and winning—high-profile securities cases for more than half a century.

An even smaller percentage of those investigations will result in successful enforcement actions in which the monetary sanctions exceed $1 million, the threshold required for a whistleblower award.

The federal securities laws are vast, complex and rapidly changing.

Case still pending against principal of the companies, defendant Garza, at the time of writing of this summary.

Defendants, an investment advisory firm and its owner, fraudulently overbilled clients and stole assets from their trusts to pay for personal expenses/luxury items. Case resolved by settlement following conviction of defendant Broidy in a parallel criminal matter.

With more than 50 years of private securities enforcement experience and decades of SEC prosecutorial experience, our knowledge is unparalleled.

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Back Recognizing the inherent complexity of the federal securities laws, clients take comfort in the fact that Labaton Sucharow has been prosecuting—and winning—high-profile securities cases for more than half a century.

An even smaller percentage of those investigations will result in successful enforcement actions in which the monetary sanctions exceed $1 million, the threshold required for a whistleblower award.

The federal securities laws are vast, complex and rapidly changing.

Case still pending against principal of the companies, defendant Garza, at the time of writing of this summary.

million, the threshold required for a whistleblower award.

The federal securities laws are vast, complex and rapidly changing.

Case still pending against principal of the companies, defendant Garza, at the time of writing of this summary.